Howard Rothstein

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2015 → 10/2024
  American Portfolios Financial Services, Inc.
  Holbrook, NY
• 10/2024 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ

Previous Registrations

• 2015-07-30 → 2024-10-11
  American Portfolios Advisors, Inc
  Palm Beach Gardens, FL
  Holbrook, NY
• 2013-02-05 → 2015-02-23
  Southeast Investments, N.C., Inc.
  Palm Beach Gardens, FL
  Charlotte, NC

Other Businesses

1. CRUMP. LIFE AND HEALTH INSURANCE PRODUCTS. NOT SECURITIES RELATED. 2. AMERICAN PORTFOLIOS ADVISORS, INC. RIA. INVESTMENT ADVISORY REPRESENTATIVE. SECURITIES RELATED. 3. UBER EAST - FOOD/PACKAGE DELIVERY, START DATE = 2024, NOT INVESTMENT RELATED, PART-TIME, 32 HRS PER MONTH, 0 HOURS DURING MARKET HOURS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-02-01
• S63 Uniform Securities Agent State Law Examination
  2010-09-02

Other Names

• Howard Rothstein
• Howard D Rothstein
• Howard Dale Rothstein